DFX Intelligence

A•••• A•••• B•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

A•••• A•••• B•••••••

Advisor at L•• F•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:50e85c93-7404-35f5-db6d-f360c2017262

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 19, 2013 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: L•• F•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 3, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Aug 17, 2022	n/a	yes	W. HAVERSTRAW, NY\|SPRING VALLEY, NY\|BRONXVILLE, NY\|SCARSDALE, NY\|MOUNT KISCO, NY\|HIGHLAND MILLS, NY\|THORNWOOD, NY\|WHITE PLAINS, NY\|LARCHMONT, NY	Current employment
P••••••• U••••• A•••••••• I•••	Former SEC adviser	May 21, 2018	Aug 17, 2022	no

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••• U••••• A•••••••• I•••	L•• F•••••••• L••	Aug 17, 2022	Aug 17, 2022	0	Bulk transfer	RIA to RIA
P••••••• S••••••••• I•••	P••••••• U••••• A•••••••• I•••	Mar 31, 2020	May 21, 2018

Relationships

Registered with (3)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Aug 17, 2022 to presentfactForm ADV
→ P••••••• U••••• A•••••••• I•••Registered adviserregistration: previous registration
May 21, 2018 to Aug 17, 2022factForm ADV
→ P••••••• S••••••••• I•••Registered adviserregistration: previous registration
Sep 19, 2013 to Mar 31, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:50e85c93-7404-35f5-db6d-f360c2017262
First observed: Sep 19, 2013
Last observed: Sep 15, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.